Copy of Associate- Regulatory Compliance (Alternative Assets)

IQ-EQ•New York, NY

1d•Hybrid

About The Position

Provide regulatory compliance support to IQEQ’s investment adviser clients, ensuring adherence to SEC Rules 206(4)-7 and 38a-1, as well as other applicable securities laws. Assist in executing, maintaining, and enhancing compliance programs to reflect evolving regulations and industry best practices. Collaborate directly with top-tier private equity and hedge fund firms, guided by a seasoned team of industry experts. Responsibilities include facilitating compliance services through hands-on assistance, performance, and review of key program elements.

Requirements

Hold a bachelor’s degree.
Possess strong analytical, technical, and software skills, especially in Excel and Word.
Communicate clearly and effectively, both in writing and speech, with a sharp eye for detail.
Demonstrate sound judgment, discretion, and problem-solving abilities in high-stakes client matters.
Thrive in fast-paced environments, managing multiple priorities independently while staying flexible to client needs.
Build and maintain strong working relationships with colleagues and clients through professionalism and collaboration.

Responsibilities

Monitor and maintain client compliance programs to ensure adherence to federal securities laws, including the Investment Advisers Act of 1940.
Draft regulatory policies, procedures, and filings while conducting initial reviews of marketing materials.
Analyze clients’ trading practices and personal securities transactions to identify potential compliance issues.
Investigate compliance violations, document findings, and ensure corrective actions align with client policies.
Support regulatory exams and perform quarterly forensic testing and employee training compliance reviews.